Carrie DormanCRD Number: 5405724
Current Firm: Benjamin F. Edwards & Company, Incorporated
Carrie Dorman (CRD# 5405724) is an Investment Advisor Representative working at Benjamin F. Edwards & Company, Incorporated in Saint Louis, MO and has over 9 years of experience in the finance industry.
Financial Planning Associates, Inc.
Cutter & Company, Inc.
Carsonallaria Wealth Management, Ltd.
|Benjamin F Edwards & Company||Madison, WI||Jun 2012 - Current||5|
|Ameriprise Financial Services, Inc.||Madison, WI||Dec 2008 - Jun 2012||3|
|Boston Store||Madison, WI||Jul 2008 - Dec 2008||< 1|
|Ameriprise Financial Services, Inc.||Madison, WI||Aug 2007 - Dec 2008||1|
|Clifton Gunderson Financial Services||Middleton, WI||Jun 2007 - Jul 2007||< 1|
|University Student||St Davids, PA||Aug 2003 - May 2007||3|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jan 2009|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management4,221MILLIONS
Total Number of Accounts17,796ACCOUNTS
Average Account Value$237,214
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV